Compliance Analyst, Conflicts of interest, Global Controls

Overview

Compliance Analyst for Morningstar’s Conflicts of Interest team within Global Controls, supporting the global conflicts compliance program.

What you'll do

• Follow standard operating procedures for the global conflicts of interest compliance program.
• Monitor compliance with conflicts policies, including securities trading and gifts & entertainment, and escalate issues.
• Operate the firm’s Conflicts Management System globally.
• Ensure proper documentation and record-keeping of associated controls.
• Support creation of compliance reports on a monthly, quarterly, and annual basis.
• Assist with regulatory examinations as directed.
• Collaborate with a global team on multiple projects.

What you'll need

• At least 1 year of experience in operations or operational business roles.
• Experience in control room functions, including preclearance of employee trades and use of restricted lists (advantage).
• Ability to work in a team environment and adhere to business and workplace standards.
• Strong verbal and written communication skills.
• Experience working with corporate policies, procedures, and guidance documents.
• Knowledge of securities and the finance industry.
• Bachelor’s degree required.

Nice to have

• Background in process automation or AI implementation.

Details

• Location: Mumbai.
• 4 days a week in-office attendance required.
• Hybrid work model: four days in-office each week.